Christopher R. Pearson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Christopher Rudolph Pearson, who also goes by Chris Pearson, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1986. Christopher had worked at 6 firms and has passed the Series 63, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 1996 - December 3, 2013
CAPROCK SECURITIES, INC.
September 17, 1991 - July 18, 1996
T.J. THOMPSON & ASSOCIATES, INC.
September 26, 1990 - October 21, 1991
HARRISON SECURITIES, INC.
November 13, 1989 - January 2, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
April 13, 1987 - November 13, 1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
May 6, 1986 - May 1, 1987
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CAPROCK SECURITIES, INC.
CRD#: 8014 / SEC#: , 8-24444
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
| Judgment/Lien | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
